Institutional Compliance Program

Institutional Compliance Program

CONFIDENTIAL REPORTING OF POTENTIAL NON-COMPLIANCE

The UH Environmental Health and Risk Management Department initiates investigations of reports of potential non-compliance. Reports may be made by any UH faculty, staff or students. The reports should be limited to potential violations of laws, regulations or rules, and the caller may remain anonymous.

The Compliance Reporting phone number is (713)743-5858

This line is operated from Monday through Friday from 8:00 a.m.until 5:00 p.m., excluding University holidays.

Here is what happens when you call:

1. An individual trained in compliance reporting will take your call and interview you in detail about your concern. You are not required to provide your name or any other personally identifying information. Your call is not recorded. If you are calling from a university telephone and are concerned that your identity will be revealed, you should access an outside line by dialing 9 and the 10 digit compliance reporting telephone number. Calls from outside lines are not displayed on the telephone caller identification screen.

2.You will be given a confidential reference number that allows you to monitor activity related to your report. This number should be used each time you call the compliance office regarding the specific report. Using the reference number, you may call for a follow-up. You may be asked additional questions at this time. It would also be appreciated if the person who reports the possible problem to check the website if more information is needed for the investigation. Requests for additional information will be listed by reference number at:

3.Your report will be given to the UH Institutional Compliance Officer who, in consultation with the appropriate UH office or offices, will determine what action to take regarding the report, to include whether to investigate the report.

What is the Institutional Compliance Program?

The Institutional Compliance Program is an integral component of the university’s effort to promote and support a culture of compliance with applicable federal and state law, which builds compliance consciousness into the daily activities of the University. More information about the Institutional Compliance Program can be found in the Institutional Compliance Manual at:

What is the purpose of the confidential reporting program?

The confidential reporting program is an integral component of the University’s Compliance program. It provides employees and others with an additional way to report to the university suspected violations of applicable federal and state law. This system is designed for reporting institutional compliance matters. Personal concerns about individual employee matters, e.g., complaints concerning wages, hours of work, performance evaluations, merit raises etc should be handled according to University policy. Only compliance related issues will be investigated. Calls should be made in good faith and should be made to report potential misconduct rather than employee dissatisfaction.

Am I required to identify myself?

No. You do not and are not encouraged to reveal your identity when you make a report. Calls are not traced and are not recorded. Information provided by the caller is treated as confidential to the extent permitted by law.

What if I only suspect something is wrong?

The University’s institutional compliance program encourages employees to make all good faith reports of suspected non-compliant activity. The issue will be investigated further to determine whether or not there is a problem.

What legal protection do I have when I call?

Pursuant tofederal and state laws and university policy all employees of the University of Houston System have the right to report suspected compliance failures. Employees who report compliance failures in good faith shall be protected from retaliation. See also System Administrative Policy 01.C.04. Anyone who retaliates against an employee who reports a compliance failure shall be subject to disciplinary action including dismissal. If you believe you are experiencing retaliation based on a report, please contact this office.In addition, the university is committed to maintaining the confidentiality and anonymity of all individuals who make such reports to the extent allowed by law.

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How do I know an investigation is taking place based on my call?

All reports received in the institutional compliance office reviews are reviewed immediately to determine whether an investigation is warranted. Callers are asked to call the office within 30 days of making a report if they would like to find out the status of the report. Follow-ups are preferred in the event additional information is needed for the investigation. To maintain confidentiality, the office does not ask individuals to provide their name or telephone number. Consequently, the callback procedure is the only method for updating individuals on the status of their report.

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University of Houston

COMPLIANCE REPORTING TELEPHONE RECORD

Administered by the Environmental Health & Risk Management Department (UH Mail Code 1005)

Call Receiver: Date: ______

CALLER’S INFORMATION (Not Required)

Caller’s Name: Caller’s Telephone:

COMPLIANCE ISSUE INFORMATION

Type of Issue:

Description: (Please provide as much detailed information as possible – use another sheet if needed.)

What department/individual is involved?

Do you know if a regulation or standard is involved?

Do you have a section number reference?

How does the current situation differ with the standard?

Who can we contact to investigate further? ______

Department: Phone:

Requested Call Back Date: Reference Number:

INSTITUTIONAL COMPLIANCE RESPONSE

Action Taken:

Formal Response/Resolution:

Report Completed By: Date:

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